You must send us these documents with your application.
Your documents must contain enough detail to be assessed. We will review your documents along with your application. If any of the documents do not meet the following minimum requirements then your application will not be successful.
What you should include
When you can create your own document or use one of the policy templates you must make sure that:
- all sections that need to be completed are not left blank
- they contain no confidential personal information about service users or members of the public
- references to legislation or external guidance are current and any links are correct and working
If you use a template, make sure it's suitable for your service type (for example, homecare). We can only accept information that's relevant to the service and regulated activities you wish to provide. Each policy should list any other related policies or procedures that need to be read alongside it. These must be current and relevant. We will cross-check all of your policies, so make sure they are consistent and do not contradict each other. Where a policy must be signed, we will accept typed signatures on a digital document.
The information in your supporting documents must be accessible to:
- your staff
- anyone who uses your service
- their advocates, those lawfully acting on their behalf and those close to them
You must also make sure that each policy contains
- the correct name of your organisation
- the person who is accountable or responsible for the policy
- the date your document was created, and the date when it will be reviewed
If you do not provide all of the required policies for your service, or if the information we have requested for each policy is not complete, relevant and up to date, your application will not be successful.
Why we want to see this evidence
A good complaints policy helps people feel confident they can raise concerns. It also helps you identify problems and improve your service.
What to include
Your complaints policy must show how you'll handle complaints effectively. If your policy doesn't include enough detail your application may not be successful.
Your policy must explain:
- how people can make a complaint
- how you'll process complaints
- how you'll use complaints to improve your service
How people can raise complaints
Explain:
- how someone can make a complaint about your service
- how you'll support people who want to complain
- who complaints should be sent to (we need to know their name and contact details)
Managing complaints
Describe:
- your step-by-step approach to handling complaints
- how long each stage will take
- how you'll keep people updated throughout
- how you'll tell people about the outcome
- where you'll direct people if they're unhappy with the outcome
- how you’ll cooperate with any independent review
Learning from complaints
Tell us:
- how you'll record and review all complaints
- how you'll use feedback to improve your service
- how you'll check your complaints system is working well
Special circumstances
Explain:
- how people can complain about the registered manager
- who will handle these complaints
- if your nominated individual and registered manager are the same person, how complaints about them will be handled fairly and by whom
Regulations you must follow
Show how your policy complies with:
Why we want to see this evidence
Your consent policy helps us check you understand how to get consent from people who use your service when providing care or treatment.
Your policy should show us how you’ll meet the requirements of:
- Regulation 9: Person-centred care
- Regulation 11: Need for consent
- Regulation 13: Safeguarding service users from abuse and improper treatment
All providers should include
Consent processes
- how and when you'll seek consent from people who use your service
- what happens if someone withdraws or refuses their consent
- how you'll ensure informed consent
- when you might need to use advocacy services
- information about Deprivation of Liberty Safeguards (DoLS) or Community Deprivation of Liberty depending on your service type
Legal representatives for people who use your services
Tell us how and when you'll involve Powers of Attorney and legally appointed deputies
Mental Capacity Act 2005
You must also clearly explain:
- how you'll meet your responsibilities under the Mental Capacity Act 2005
- how you'll apply the five principles of the Mental Capacity Act
- how you'll assess mental capacity, including who will do this, when and why
Additional legal requirements
Tell us how your consent policy complies with:
Why we want to see this evidence
Your equality, diversity and human rights policy helps us check you can meet your legal obligations and provide inclusive care that respects people's rights.
All providers should include
Reasonable adjustments
In your policy you should clearly explain
- how you will make reasonable adjustments so that people with a disability can access and use services on an equal basis to others
- how your technology (including telephone systems and digital services) will be easy to use.
Understanding and respecting people's needs
We want to know how your staff will understand and respect the personal, cultural, social and religious needs of people who use your service, this includes:
- how these needs may relate to their care needs
- how staff will take these needs into account when delivering services
Information sharing and management
Tell us:
- how and when you might share information about someone who uses your service with other services or providers
- how you will record information about people who use your service.
Addressing unacceptable behaviour
We want to see details of how you will address bullying and harassment
Legal requirements
You should show us how you will meet the requirements of the:
If you are registering as a home care (domiciliary care) provider, from 1st July 2025, you no longer need to submit this document with your application. You can find out which supporting documents are required for home care providers on our homecare evidence page.
Why we want to see this evidence
This confirms you have the finances to provide your service and keep it running, as set out in your statement of purpose.
Use the financial viability statement template we've attached to this page. It uses the 2018 version of the Data Protection Act. Do not use an older version of the form that mentions the Data Protection Act from 1998. Those forms are out-of-date and should not be used anymore.
Providers should include
Your financial viability statement must include:
- name of your business
- your main business address, including contact details
- name, position and signature of applicant.
You must also include details about your financial specialist (such as your accountant). We need to know:
- name of organisation
- professional accreditation body and registration number
- main business address including contact details
- their name, position and signature.
Your statement must be signed by a:
- professionally qualified accountancy company (registered with a recognised supervisory or qualifying body), or
- bank or financial services firm regulated by the Financial Conduct Authority (FCA).
- It must not be signed by a friend or relative.
Your financial specialist may need to see your business plan to help them confirm your business is financially viable.
They must state whether, in their opinion, you are or are not financially viable and any concerns.
We may contact them if we need further information.
Why we want to see this evidence
Your governance policy helps us check you have effective systems in place to run a well-led service and provide good quality care.
Your policy must show how you’ll meet the requirements of:
All providers should include
Company structure and accountability
In your policy you must tell us:
- details of how good governance will be achieved
- the responsibilities of specific leaders and staff groups in your governance processes
- how accountability works within your company
We also want to see an organisational structure chart that accurately reflects your business and roles.
Quality and safety management
We want to know:
- the processes you'll use to assess, monitor and improve the quality and safety of your services
- details of your audits
- how you'll keep making your service better
- how you identify, manage and learn from risks
Records management
Tell us how you'll properly maintain and store records about:
- people who use your service
- staff
- management procedures
Feedback systems
Tell us how you will seek and act upon feedback from people using your service.
Why we want to see this evidence
Your infection prevention and control policy helps us check you can effectively manage infection risks and meet your legal obligations.
Your policy must show how you’ll meet the requirements of:
- the Health and Social Care Act 2008: code of practice on the prevention and control of infections
- your approach to meeting Regulation 12: Safe care and treatment
All providers should include
Risk assessment and monitoring
Your policy must clearly explain:
- how you identify and assess infection risks
- how you monitor your infection control measures
- the systems you have in place to manage and prevent infection
Prevention and control measures
- your approach to hand hygiene
- what personal protective equipment (PPE) is available for staff, as well as when and how they use it.
- how staff take precautions based on transmission risks
- your waste, cleaning and decontamination methods (for example, how you handle laundry, including staff uniforms, if this is appropriate for your service).
You should show how you’ve considered the specific needs of the people who use your service. You should make sure your policy is relevant to those needs.
Staff health and vaccination
- staff vaccination requirements.
- immunisation requirements for overseas applicants (if relevant).
Home care agencies: additional requirements
If you provide care in people's homes, your policy must explain:
- how you assess infection risks in domestic environments
- how staff apply infection control measures in people's homes
- how you handle cleaning and waste management in home settings.
If you are registering as a home care (domiciliary care) provider, from 1st July 2025, you no longer need to submit this document with your application. You can find out which supporting documents are required for home care providers on our homecare evidence page.
Why we want to see this evidence
Your systems and processes must support the confidentiality of the people who use your service. They must comply with the Data Protection Act 2018. Every organisation that processes personal information must pay a fee to the ICO, unless exempt. Failure to do so will result in a fixed penalty.
Providers should include
You must also make sure:
- you provide a copy of your issued certificate
- the name on the certificate matches the name on your application
- your certificate is currently valid, with a ‘start date’ and ‘end date’.
Why we want to see this evidence
Your medicines policy needs to demonstrate that there are appropriate procedures for the safe and effective management of medicines and associated equipment. It must relate to the type of service you provide.
Your policy must show how you’ll meet the requirements of:
- Regulation 12: Safe care and treatment
- Regulation 13: Safeguarding service users from abuse and improper treatment
All providers should include
- How you will assess service users' medication needs
- How you will obtain consent and support those who lack capacity
- The different levels of medication assistance you offer
- Your approach to covert medication administration, PRN (as required) medication, controlled drugs, sharps, and gases
- Information about delegated healthcare tasks (if you provide these)
- How you will manage medicines safely, including medication administration, storage, and handling medication errors and omissions
- How you will administer medicines appropriately to make sure people are safe
- How you will keep enough supplies of medicines (if applicable)
- Procedures for medicine refusals and safe disposal methods
- How you will train staff responsible for administering medications and explain how their competence is assessed and monitored
- How you will make sure staff know who to contact about medication concerns
- How you will set up governance arrangements for medicines administration records to make sure they are accurate and up-to-date
- Details about record keeping and onward reporting of issues
- How you will reflect relevant guidance from the National Institute for Health and Care Excellence (NICE)
Home care agencies: additional requirements
You must also include:
- how you will agree with service users about medicine storage in their homes
- your approach to STOMP (Stopping over-medication of people with a learning disability and autistic people) and STAMP (supporting treatment and appropriate medication in paediatrics) where applicable
If you are registering as a home care (domiciliary care) provider, from 1st July 2025, you no longer need to submit this document with your application. You can find out which supporting documents are required for home care providers on our homecare evidence page.
Why we want to see this evidence
All providers must have insurance and suitable indemnity arrangements. These must cover potential liabilities arising from death, injury, or other causes, loss or damage to property, and other financial risks.
Providers should include
You can only submit one document. If the service you are applying for requires both Public and Employee liability insurance, complete the CQC Liability Insurance Supporting Information form with your insurance details and we will ask for evidence of your certificate or quote at your assessment. Your quote must be within its expiry date when you submit your application.
You must submit one of the following which should be specific to the service applying for registration:
- Public Liability Insurance Certificate of insurance, or Quote, where your service has no employees.
- Public and Employer Liability Insurance Certificate of insurance, or Quote when both are covered by one document.
- CQC liability insurance supporting information form (complete all sections of this form when you have separate documents for Public and Employer Liability insurance or to explain why you currently have no insurance arrangements place)
Why we want to see this evidence
Your recruitment policy must show that you have appropriate procedures in place for hiring staff. It should detail your organisation's approach to recruitment, making sure that processes are fair, inclusive and in line with your legal obligations.
- Your policy must show how you’ll meet the requirements of regulation 19: Fit and proper persons employed.
All providers should include
Your Recruitment policy should show:
- how you make sure recruitment is fair and complies with legislation
- the stages of your recruitment process (for example, advert, application, shortlisting, interview, checking identity, taking up references, DBS check, offering post)
- your approach to recruiting volunteers and apprentices (if this applies to your service)
- your recruitment complaints procedure
- details about what you check at each stage of the recruitment process
- information about your approach to sponsoring overseas workers, including what checks you will perform
- what references you require for new employees
- how you check previous employment history, particularly if the applicant has worked in health or social care or with children or vulnerable adults
- how you verify why previous employment ended
- your policy for employing overseas workers - if this is in a separate document, please provide this alongside your main recruitment policy.
Your policy should also show how you will comply with:
Why we want to see this evidence
Your safeguarding policy must provide guidance about how people can raise concerns about abuse.
- Your policy must show how you’ll meet the requirements of Regulation 13: Safeguarding service users from abuse and improper treatment.
All providers should include
Understanding abuse
- Information about the different types of abuse and what constitutes abuse and signs to look for that may indicate abuse is taking place
- The process for reporting and raising safeguarding concerns
- Your approach to restraint, and how to recognise it.
Preventing abuse
- How you will actively take steps to prevent abuse and specific preventative measures you will take to safeguard people who use your services.
Reporting abuse
- The name and role of your safeguarding lead, including their contact details including emergency and out of hours contacts
- A clear process or flow chart to quickly find the correct reporting procedure and appropriate contact details. This should be suitable for all levels of the organisation.
- The reporting process with relevant contact details for raising allegations of abuse against the management in the service, with details of how the investigation will be impartial, and include any other parties you may need to involve when reporting an allegation of abuse.
- What will happen once a concern has been reported
- How you will consider people who use your service providing consent during a safeguarding allegation and subsequent investigation.
- Your process for identifying and managing a Deprivation of Liberty application, including details of the authorisation process.
Local Authority support
- Information about your Local Authority Safeguarding Team and how they can be contacted (this team must be in the same geographic region you are providing services in)
Why we want to see this evidence
A Statement of Purpose is a legally required document that includes information about you and the care services you provide.
- Your policy must show how you’ll meet the requirements of Schedule 3 of the Care Quality Commission (Registration) Regulations 2009 (as amended 2012).
All providers should include
- Your aims and objectives - these are your aims and objectives in providing the regulated activities at the locations you operate.
Places where you provide services
Each of your locations should include:
- the address and other contact details
- a description of your location, including any other uses for the property (e.g. is it a domestic dwelling?)
- the type of service you provide at or from the location
- the different needs of people who use your service - your service user bands
- the activities we regulate that you provide at the location
- the registered manager who manages those activities at the location
Details of your registered managers
Each of your registered managers should include:
- their full name and contact details
- the address we should use to serve notices and other documents to them
- the locations they manage and the percentage of time they spend at each
- the activities we regulate that they manage
- details of any job share arrangements
Find more information and help with creating a statement of purpose.
Additional documents
If you are submitting a homecare application, we need some additional documents to be submitted with along with your application. You can find details of these here.
For other provider types, we may need more information from you when we assess your application. We may ask you for some of these documents, depending on the type of service you plan to provide.
- Business continuity plan
- Emergency plan
- Floor plan
- Freedom to speak up policy
- Initial assessment/admission policy
- List of risk assessments
- Mental capacity and Deprivation of Liberty Safeguards (DoLS) policies
- Organisational structure
- Person centred care planning policy (PCCPP)
- Quality assurance policy
- Reportable incidents policy
- Safety and security of premises policy
- Sample care plan
- Service user guide
- Staff training matrix
- Staffing structure
- Booking policy
- GDPR/data protection arrangements
- List of risk assessments
- Medical emergency policy
- Process for self audit and/or for submission to national audits, accredited software system
- Procurement policy
- Records management policy
- Restraint policy
- Safe handling of bariatric patients’ policy
- Staff training matrix
- Staffing structure
- Vehicle details
- Waste management policy
- Business continuity plan
- Freedom to speak up policy
- Health and safety risk assessment
- List of risk assessments
- Medical emergency policy
- Significant events policy (SAE: serious adverse event)
- Staff training matrix
- Staffing structure
- Business continuity plan
- Complaints policy and procedures
- Health and safety risk assessment
- Medical emergency policy
- Medical indemnity insurance covering online services
- Freedom to speak up policy
- Patient pathway
- Records management policy
- Significant events policy (SAE: serious adverse event)
- Staff training matrix
- Staffing structure
- Training and development policy
- Whistleblowing policy
- Business continuity plan
- Freedom to speak up policy
- Health and Safety Executive (HSE) registration (if using X-ray equipment)
- Health and safety risk assessment
- List of risk assessments
- Medical emergency policy
- Quality assurance policy
- Significant events policy (SAE: serious adverse event)
- Staff training matrix
- Staffing structure
- Business plan
- Learning disability form
- Mental capacity and Deprivation of Liberty Safeguards (DoLS) policies
- Organisational structure
- Quality assurance policy
- Sample care contract
- Sample care plan
- Staff training matrix
- Staffing structure